0001181431-11-059282.txt : 20111207 0001181431-11-059282.hdr.sgml : 20111207 20111207161714 ACCESSION NUMBER: 0001181431-11-059282 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20111205 FILED AS OF DATE: 20111207 DATE AS OF CHANGE: 20111207 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Penn Laurence CENTRAL INDEX KEY: 0001474801 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34569 FILM NUMBER: 111248760 MAIL ADDRESS: STREET 1: 52 FOREST AVENUE CITY: OLD GREENWICH STATE: CT ZIP: 06870 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Ellington Financial LLC CENTRAL INDEX KEY: 0001411342 STANDARD INDUSTRIAL CLASSIFICATION: REAL ESTATE [6500] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE BUSINESS ADDRESS: STREET 1: 53 Forest Ave CITY: Greenwich STATE: ct ZIP: 06870 BUSINESS PHONE: 203-698-1200 MAIL ADDRESS: STREET 1: 53 Forest Ave CITY: Greenwich STATE: ct ZIP: 06870 4 1 rrd327384.xml FORM 4 X0304 4 2011-12-05 0 0001411342 Ellington Financial LLC EFC 0001474801 Penn Laurence 53 FOREST AVENUE OLD GREENWICH CT 06870 1 1 0 0 CEO and President Common Shares rep. limited liability company interests 2011-12-05 4 P 0 902 16.96 A 7306 D Common Shares rep. limited liability company interests 2011-12-06 4 P 0 455 17.08 A 7761 D This transaction was executed in multiple trades at prices ranging from $16.93 to $17.00. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. All purchases pursuant to this transaction were made pursuant to a 10b5-1 trading plan adopted by the reporting person. This transaction was executed in multiple trades at prices ranging from $16.98 to $17.14. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. All purchases pursuant to this transaction were made pursuant to a 10b5-1 trading plan adopted by the reporting person. /s/ Sara Walden Brown, as attorney-in-fact for Laurence Penn 2011-12-07